IOSCO's fifth annual World Investor Week will focus on sustainable finance, and fraud and scams prevention.
News & Insights
FINRA proposed amendments to the Security Futures Risk Disclosure Statement to reflect recent changes on position limits for security futures contracts, market-wide circuit breaker benchmarks and thresholds, and that exchanges may now list security futures on certain debt instruments.
In separate CFTC, SEC and FINRA actions, a dually registered futures commission merchant and broker-dealer settled charges of AML compliance and suspicious activity report filing failures.
FINRA is adding a new "Problem Code," amending various reporting requirements and revising forms to address the June 9, 2017 implementation of certain aspects of the DOL Fiduciary Rule.
FINRA reminded firms of their obligation to supervise sales of pension income stream products by their associated persons.